RedFlags, Allegations and Complaints against Alex Wong
Disclosure #1 for Alex Wong
- Event Date: 3/27/2019
- Disclosure Type: Regulatory
- Resolution: Final
- Initiated By: Ohio Department of Insurance
- Allegations: Provided incorrect answers on his insurance license renewals in violation of Ohio statute RC 3905.14(B)(1).
- Resolution: Consent |Sanctions: Civil and Administrative Penalty(ies)/Fine(s) |Amount: $500.00
Should I file a FINRA complaint against brokers like Alex Wong?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by Alex Wong’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About Alex Wong
What is Alex Wong’s Central Registration Depository (CRD) Number?
Which firm is Alex Wong associated with?
GRADIENT SECURITIES, LLC
Where is Alex Wong located?
4889 Sawmill Road, Columbus, OH, 43235
Where can I find more details about Alex Wong’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/127701 to read a detailed report for GRADIENT SECURITIES, LLC
Are there any disclosures, allegations or complaints filed against Alex Wong?
Where can I download a detailed FINRA report for Alex Wong?
Is it safe to do business with Alex Wong?
We’re not sure. Please research Alex Wong’s disclosures, allegations and complaints before taking a decision
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